standard Broker Dealer Registered Representative Agreement

In addition, FINRA Rule 2210 states that each company`s website contains an easily identifiable reference and hyperlink to BrokerCheck on the original website that the company wishes to consult with retail customers and any other website that contains a professional profile of one or more registered persons dealing with retail customers. FINRA considers websites run by registered representatives to promote the company`s business to be company websites. For more information on the application, please visit the Respect for Brokerage Linkcheck requirements page. You are only allowed to engage in an investment activity under the direct supervision of your company as a representative. You can only participate in private investment transactions (for example. B your company`s securities transactions), unless you receive prior written authorization in accordance with FINRA 3280. As a result, you should discuss with your superior the securities transactions you want to make by subscription with the dealer-dealer you are currently registered with. FINRA Rule 3210 stipulates that a registered representative must obtain prior written consent from the member company (the executing member) or another financial institution before opening an account where securities transactions can be made and on which the registered person has an economic interest. The registered representative must also notify the member or other financial institution in writing of their relationship with the occupied member.

The exporting member is, in turn, required to provide double copies of confirmations and declarations to the employer of the registered representative on his behalf, including an account in which he has a share of economic participation, at the request of the occupied member. It is presumed that a registered representative has a favourable interest in an account held by: Rule 2210 of THE FINRA RULE, which prohibits brokers and brokers registered with FINRA from deceptively referring to legitimate accounts or denominations or referring to non-existing or self-assigned statements/denominations. The FINRA professional title understanding page helps you learn more about professional securities in general, while FINRA`s “Senior Designation” page helps you learn more about denominations for older investors. As a general rule, FINRA Rule 5130 prohibits you from buying a new issue (first IPY or ipo of a stock guarantee) or from selling a new issue to “disabled persons,” including other broker-dealers and their employees, as well as portfolio managers, discoverers and individuals acting as agents for the managing insurer. As a registered representative, your work-related documents, such as correspondence with clients. B, new account forms and copies of customer statements and claims must be sent by your company in accordance with FINRA 4510 and other rules (e.g.B.